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Results: 11-20 of 391

Wisconsin Supreme Court affirms conviction for state securities fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 20 2008

The Wisconsin Supreme Court affirmed a conviction for, among other things, criminal securities fraud under Wisconsin’s securities laws in connection with an allegedly fraudulent real estate venture

Outside consultant held primarily liable for securities fraud in SEC filings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 19 2008

The Tenth Circuit affirmed the grant of summary judgment in favor of the Securities and Exchange Commission in an enforcement action against a consultant and his consulting firm alleging violation of, among other provisions, Section 10(b) of the Securities and Exchange Act and Rule 10b-5 relating to material misstatements and omissions in a public company’s SEC filings

FSA imposes ban and highest-ever fine on individual

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • May 28 2010

On May 20, the UK Financial Services Authority (FSA) announced that it had fined Simon Eagle £2.8 million (approximately $4 million) and prohibited him from working in financial services as a result of the deliberate market abuse scheme he had carried out in 2003-2004

TOUSA fraudulent transfer decision reversed by district court

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2011

Reversing a controversial decision and judgment of the bankruptcy court, the United States District Court for the Southern District of Florida has held that a group of lenders who received payment in settlement of their defaulted debt from the proceeds of new loans secured by the assets of certain subsidiaries of TOUSA, Inc. which were not themselves liable on that debt, did not receive fraudulent transfers

Allegations of corporate “hijacking” state fraud claim against corporate attorney

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 25 2010

The U.S. District Court for the Southern District of New York recently denied defendant Nicolette Loisel’s motion to dismiss a Securities and Exchange Commission complaint against her and four co-defendants, which alleged, among other things, violations of Section 10(b) of the Securities Exchange Act and Rule 10(b)(5), promulgated thereunder

ESMA issues statement on short selling and market abuse

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • August 19 2011

On August 11, in the context of the short selling restrictions introduced by Belgium, France, Italy and Spain, the European Securities and Markets Authority (ESMA) issued a statement reiterating the requirements set out in the European Union Market Abuse Directive (MAD) and implemented in national laws that prohibit the dissemination of information which gives, or is likely to give, false or misleading signals as to financial instruments

DOJ continues to expand scope of FCPA

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 21 2009

The Foreign Corrupt Practices Act (FCPA) prohibits individuals or companies from bribing foreign government officials to obtain or retain business

Class certification of fraud claim denied

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 28 2011

A federal district court recently held that a group of aggrieved consumers will not be able to pursue their fraud claims as a class against the company that purportedly deceived them because the company's growing awareness that the customers would not receive their merchandise raised questions of fact requiring individualized adjudication

Civil RICO complaint based on alleged diamond scheme dismissed

  • Katten Muchin Rosenman LLP
  • -
  • India, USA
  • -
  • November 5 2010

The U.S. District Court for the Southern District of Florida dismissed a civil Racketeer Influenced and Corrupt Organizations Act complaint based on a series of investments made with a group of India-based companies

Dismissal of securities fraud claim involving Hurricane Katrina losses affirmed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 15 2010

The U.S. Court of Appeals for the Second Circuit affirmed the district court’s dismissal of a securities fraud class action suit brought against defendant PXRE Group, Ltd. (a reinsurance company) and its officers and directors because plaintiffs failed to adequately plead scienter